FIN Disclosure Center

FIN Compliance looks great on all devices

Our Disclosure Center is a compliance reporting tool that also integrates with our FIN Disclosure app for the upload and delivery of disclosures to clients, staff, solicitors, investors, and prospects.


HOW IT WORKS


  • Open FIN Compliance Disclosure Center

  • Upload calendar tasks and reporting documents

  • Assign files/tasks to Disclosure App

  • Invite staff, vendors, investors to download disclosure app

Disclosure Center Portal

Two Portals to Prepare Disclosures


FIN Disclosure App

RIA Cpmpliance mobile app.

LOGIN FOR CLIENTS, STAFF, VENDORS, AND INVESTORS


WEB LOGIN

LOGIN
MOBILE DOWNLOAD
Manage deliverables and avoid SEC, FINRA, or State “failure to disclose” fines by delivering documents for: Clients, Investors, Prospects, Vendors, and staff.

A SAMPLE OF FEATURES

Compliance management software public login.

Staff Dashboard

  • Disclosures:
  • Calendar Events
  • Training Materials
  • Continuity Documents
  • ADV Documents.
  • Code of Ethics Reporting

Use for admin, staff, solicitors, or virtual assistants.

Client Dashboard

  • Disclosures:
  • Calendar Events
  • Marketing Materials
  • Continuity Documents
  • ADV Documents.
  • Code of Ethics Reporting

Use for clients, prospects, and vendors.

Compliance management software public login.

See Us In Action


Download Mobile App

(For Disclosure Delivery and Communications via a Smartphone)


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